4e. IA – The Marketing Rule in Year 2: More Lessons Learned (Intermediate - OPEN)

The SEC’s Marketing Rule was a significant change that required nearly every adviser, including private fund managers, to re-think their compliance approach to marketing and solicitation.  This session will dive deeper into developments resulting from SEC exams, SEC FAQ, and industry responses since the rule’s implementation and their implications for Compliance. 

This session is open to regulators but closed to members of the press.

Learning Objectives:

• Learn what the regulatory staff has been saying about compliance with the rule and their focus during regulatory exams.

• Consider the ongoing challenges with social media usage and influencers.

• Assess the implications for performance presentations.

• Gain insight into issues associated with endorsements and testimonials.

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